LLNL-PRES-XXXXXX This work was performed under the auspices of the U.S. Department of Energy by Lawrence Livermore National Laboratory under Contract DE-AC52-07NA27344. Lawrence Livermore National Security, LLC

Leveraging Federal Technologies and Resources

NIH SBIR/STTR Conference June 1, 2012

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Overview • Federal Laboratory Technology Transfer • Federal Laboratory Consortium (FLC)

How Labs Do Business • Examples of Deals

Other Examples of Programs

Outline

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Federal Laboratory Technology Transfer Technology transfer is how knowledge, facilities, or capabilities

developed under federal research and development (R&D) funding are utilized to fulfill public and private needs

Who: Government and non-government entities

What is the goal: -enhance agency mission capabilities

-increase return on R&D investment -support economic growth and development -enhance U.S. competitiveness

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Getting to know US (Myth of the Monolith)

Type:

• Government Owned Government Operated (GOGO) • Government Owned Contractor Operated (GOCO)

Missions: • Promote wellness • Energy independence • Economic competitiveness • National security • Support war fighter

Authorization: Stevenson-Wydler, Bayh-Dole, Space Act, etc.

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Stevenson-Wydler Technology Innovation Act (P.L. 96-480)

First of many laws to define and promote technology transfer. • Required laboratories take an active

role in technical cooperation • Set a percentage of laboratory budget

specifically for technology transfer offices.

Provided outside organizations with a means to access federal laboratory developments.

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Bayh-Dole Act of 1980 (P.L. 96-517)

Permitted universities, not-for-profits, and small businesses to obtain title to inventions developed with federal funds

Government-owned, government-operated (GOGO) labs allowed to grant exclusive patent licenses to commercial organizations

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Federal Technology Transfer Act (P.L. 99-502) All federal laboratory scientists and engineers are

required to consider technology transfer an individual responsibility. • Required technology transfer activities to be considered on

employee performance evaluations.

Enabled GOGO* labs to: • Enter into Cooperative Research and Development

Agreements (CRADAs) • Negotiate licensing agreements • Share license royalties with inventors

*GOCO labs granted this authority through the National Competitiveness Technology Transfer Act (P.L. 101-189)

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Federal Laboratory Consortium

Composed of: • Technology Transfer

Professionals from the federal laboratories

• Respective Agencies • Affiliated organizations

The only government-wide forum for technology transfer.

By the Numbers: • 17 National laboratories • 18 Federal agencies • ~250 Federal laboratories and

centers • 100,000 scientists and

engineers • Billions of dollars of research

and development funding

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What is the mission of the FLC?

Education and Training

Sharing Best Practices/Networking

National and Regional Meetings & Conferences

Professional Recognition

Communications and Coordination

“To add value to the federal agencies, laboratories,

and their partners to accomplish the rapid integration of research and development resources within the

mainstream of the U.S. economy.”

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How do I make a connection?

FLC (e.g., Technology Locator Service)

http://www.federallabs.org/locator/

Agency (e.g., T2 Office; Partnership Intermediaries)

Laboratory/Institute (Lab T2 Office)

Individual (Scientists & Engineers)

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Web Portals and other Support

EERE Portal & Tech Comm Fund (techportal.eere.energy.gov)

DOE Patent Site (osti.gov/doepatents)

SBIR/STTR Alerting Service • Automatic free alerts sent every other week, includes

solicitations, training, conferences, tips, and contact information with web addresses

• Covers all 11 agencies, not just DOE

How they help: • Connects business with emerging technologies

and laboratories developing them, as well as grant opportunities

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Doing Business with the Labs

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Technology Transfer Mechanisms Patent License Agreement Cooperative Research and Development

Agreement (CRADA) Work for Others – Work for Private Parties Publications Collegial exchange Educational Partnership Agreement Use of Facilities Agreement Cooperative Agreement Commercial Test Agreement Material Transfer Agreement Partnership Intermediary Agreement Commercial Service Agreement Personnel Exchange Grants

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Patent Licensing (a.k.a. “Deals”)

How it works: • Businesses, entrepreneurs, and others

locate licensable technologies via lab websites, referrals, etc.

• Contact laboratories for more information; NDA; negotiate terms

• Programs at each lab are similar, but are not exactly alike

How it’s helped: • Thousands of technologies are licensed

to companies each year, providing a basis for U.S. competitiveness and creating new jobs

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Cooperative Research and Development Agreement (CRADA or CRDA) Allows federal and non-

federal parties to enter into agreements to conduct research and development

Allows federal labs to commit resources such as personnel, facilities or equipment, but not funds to nonfederal parties

Nonfederal parties can commit funds and other resources

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Work for Others (WFO) Mechanism through which industry can utilize the

unique expertise and facilities at a federal laboratory

The industrial sponsor pays 100% of the cost of the work to be performed.

Under certain conditions, a company may take title to the inventions created by the federal laboratory under the WFO.

Key Clauses: • Product and IP Indemnification • Advance Payment • Federal lab cannot compete with the private sector

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By the Numbers FY2009 Activity reported to the Department of

Commerce, Issued March 2011 FY 2005 FY 2006 FY 2007 FY 2008 FY 2009

CRADAs, total active in FY 5,947 7,268 7,326 6,923 7,733

New inventions disclosed in FY 4,771 5,193 4,486 4,365 4,422

Patent applications filed in FY 1,745 1,912 1,825 1,938 2,080

Patents issued in FY 1,012 1,284 1,405 1,272 1,494

Licenses, total active in FY 9,577 10,186 10,352 11,098 10,913

New, executed in FY 1,824 1,495 1,463 1,377 1,250

Income from licenses, ($$M) $144.9 $138.7 $149.9 $170.9 $154.3

Department of Energy National Laboratories

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A Few Highlights

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Millimeter Wave Holographic Scanner Pacific Northwest National Laboratory

Exclusive Field of Use License • L-3 SafeView for security IP originally licensed to

venture-backed start-up; acquired by L-3 Communications in 2006

Unique Solutions Limited for a “mybestfit” kiosk now deployed at the King of Prussia Mall in Pennsylvania

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Rehabilitation Support Device NASA: Goddard Space Flight Center

The Secure Ambulation Mode (S.A.M.) is a physical therapy devise to assist in rehabilitation for patients with spinal cord or traumatic brain injuries.

NASA’s compliant joint allows movement in six directions with varying degrees of stiffness.

Both patents were licensed from NASA by Enduro Medical Technology.

Enduro donated several early devices to Walter Reed Medical Center in DC.

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Laser Peening Lawrence Livermore National Laboratory Metal Improvement Company licensed the laser peening

technology. • A high energy laser is fired at the surface of a metal part and

generates pressure pulses to form a layer of compressive stress. • Increased component life and reduced maintenance costs

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Portable Bioassay Technology DOD Navy: Space and Naval Warfare Systems Center Qwiklite is a field-deployable

bioluminescent bioassay system for measuring water toxicity

Invented by the Navy, the technology was licensed to Assure Controls, Inc., with commercialization support from the Center for Commercialization of Advanced Technology, in the form of two cooperative research and development agreements.

Less costly and faster than traditional assays.

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Other Mechanisms

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Technology Assistance

How it works: • Business requests assistance • Provides several days of technology

assistance at no charge (a business is eligible once per fiscal year)

• Cannot compete with private sector offerings

How it helps: • Provides support that is otherwise

unattainable for most small businesses

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Research Parks & Commercialization Centers

How it works: • Reduce commercialization risk (helps

established and startup companies retain and create jobs)

• Provides access to Lab technical expertise and know how

• Nurtures entrepreneurial environment • Networking, Education, Market Intelligence,

Coaching, Linking Community Contacts How it helps:

Provides basic infrastructure to start-up and creates jobs!

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Entrepreneurial Support & Access to Capital Entrepreneur-in-Residence Programs

TVC (Technology Venture Corporation)

University Technology Entrepreneurship Programs

Forums • Energy Growth Forum at NREL

How it helps: • Creates entrepreneurial capacity and stimulates new businesses

(jobs!)

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Questions/Comments Thank you!

Ida C. Shum shum3@llnl.gov (925) 423-9724